Category Archives: Enforcement

Updates on FINRA, SEC, FCA, and more from FiSolve

This week’s developments reflected a regulatory landscape shaped by rapid innovation, familiar compliance priorities, and continued policy change:

Taken together, the week underscored how quickly technology, compliance expectations, and market structure continue to evolve across financial services. Read the full update from FiSolve here.

Updates on SEC, FINRA, CFTC, and more from FiSolve

This week’s developments pointed to a regulatory environment focused on enforcement priorities, early remediation, and market oversight.

Read the full update from FiSolve here.

Updates on SEC, CFTC, FINRA, and more from FiSolve

This week brought a sharp reminder that regulators remain focused on market integrity, supervision, and structural change.

Taken together, the week’s developments reflect a regulatory environment that remains active on both enforcement and reform. Read the full update from FiSolve here.

Updates on CFTC, SEC, FINRA, and more from FiSolve

This week brought a busy mix of enforcement, policy, and market-structure developments across the financial services landscape:

Read the full update from FiSolve here.

Coordinated $80 Million AML Enforcement Action Highlights Breakdown Between Policy and Practice

Regulators continue to focus on AML programs that exist on paper but fail in practice, particularly in higher-risk trading environments such as microcap and over-the-counter markets.

On March 6, 2026, Financial Crimes Enforcement Network, the U.S. Securities and Exchange Commission, and Financial Industry Regulatory Authority brought coordinated enforcement actions against Canaccord Genuity LLC arising from significant anti-money laundering failures tied to its over-the-counter trading business.

The coordinated resolutions resulted in a $80 million total monetary settlement, including amounts payable to the SEC and FINRA. FinCEN also required additional remedial undertakings, including independent consultant review work.

To help you make sense of what this means for you and your clients, read the full article from our friends at SEC3 here.